UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Appreciation Right | 02/20/2009 | 02/20/2018 | Common Stock | 4,166 | $ 47.37 | D | Â |
Stock Appreciation Right | Â (3) | 03/11/2020 | Common Stock | 20,000 | $ 52.1 | D | Â |
Stock Appreciation Right | Â (4) | 12/20/2020 | Common Stock | 7,500 | $ 63.865 | D | Â |
Restricted Stock Units | 12/19/2016 | 12/19/2016 | Common Stock | 4,000 | $ (5) | D | Â |
Stock Appreciation Right | Â (6) | 12/19/2022 | Common Stock | 20,802 | $ 53.045 | D | Â |
Restricted Stock Units | 12/19/2016 | 12/19/2016 | Common Stock | 775 | $ (5) | D | Â |
Restricted Stock Units | Â (7) | Â (7) | Common Stock | 1,727 | $ (5) | D | Â |
Restricted Stock Units | Â (8) | Â (8) | Common Stock | 7,619 | $ (5) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCGINNIS JOHN P 1201 LOUISIANA STREET SUITE 2600 HOUSTON, TX 77002 |
 |  |  COO - Seneca Resources |  |
James P. Baetzhold | 04/08/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The NFG stock fund under the NFG 401(k) plan is denominated in units, representing ownership interests in a fund that includes both NFG common stock and a reserve of cash. The information reported represents the dollar value of the reporting person's balance in the NFG stock fund as of April 1, 2016, as reported by the plan administrator, divided by the closing price of NFG common stock on that date. |
(2) | The reporting person and his spouse are the sole members of the limited liability company. |
(3) | The stock appreciation right became exercisable as follows: 6,666 on November 24, 2010; 6,667 on November 23, 2011; and 6,667 on November 21, 2012. |
(4) | The stock appreciation right became exercisable in three equal annual installments beginning December 20, 2011. |
(5) | Each restricted stock unit represents a contingent right to receive one share of NFG common stock. |
(6) | The stock appreciation right became exercisable in three equal annual installments beginning December 19, 2013. |
(7) | The restricted stock units vest as follows: 863 on December 19, 2016 and 864 on December 19, 2017 |
(8) | The restricted stock units vest as follows: 2,539 on December 17, 2016; 2,540 on December 17, 2017; and 2,540 on December 17, 2018. |